2017 PLANADVISER National Conference

JW Marriott Orlando Grande Lakes |

Oct 11-13, 2017 |

2017 PLANADVISER National Conference

Day 1 - Wednesday October 11, 2017

Day 2 - Thursday October 12, 2017

Day 3 - Friday October 13, 2017

DAY 1

11:00 - 1:00

Registration and Buffet Lunch
1:00 - 1:15

Welcome and Opening Remarks (Mediterranean Salons 1-4)
Alison Cooke Mintzer, Global Editor-in-Chief, PLANADVISER

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1:15 - 2:00

Featured Speaker: Mark Halperin
PLANADVISER Magazine is pleased to announce that Mark Halperin, Creator, Executive Producer, and Co-host Showtime’s The Circus; Senior Political Analyst, NBC News and MSNBC; and Co-author, New York Times Best-Sellers Game Change and Double Down: Game Change2012, will be entertaining us all with his political insights and expertise! Join us for a riveting presentation comprised of storytelling, reactions and analysis from a veteran Washington D.C. insider!
2:00 - 2:55

Stronger DC Plans Built for a Changing World
Helping plan sponsors deliver better outcomes for participants in an evolving retirement landscape.
During this session, we will share findings from our 2017 DC Plan Sponsor Survey, including how plan sponsors with a proactive advisor are more confident and more likely to implement innovative features and strategies. We will also discuss our latest research around the topic of averages which highlights the importance of designing plans for a wide continuum of individual variables.

Presenter: Anne Lester, Head of U.S. Retirement Solutions for Global Investment Management Solutions, JP Morgan Asset Management

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2:55 - 3:45

Session
How Data Interpretation Affects Retirement Projections
There is endless data floating around our industry—and each interpretation tells a different story. Is there really a retirement crisis? How prepared are participants, and what data is needed to improve readiness projections? Industry experts discuss the value of the available data for managing industry measurements, and the future of aggregation and analysis.

Moderator
Alison Cooke Mintzer, Global Editor-in-Chief, PLANADVISER

Panelists
Lew Minsky, President and Chief Executive Officer, Defined Contribution Institutional Investment Association (DCIIA)
Tim Rouse, Executive Director, The SPARK Institute, Inc.

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3:45 - 4:15

Coffee Break
4:15 - 5:00

Session
Business Models of the Future
How are advisers’ practice models evolving? Is wealth management “in” or “out”? How does
selling health savings accounts, 529 plans or nonqualified plans work when an advisory practice has traditionally been retirement-plan focused? With so much emphasis on RIAs, will advisers be paid via commissions in the future?

Moderator
John Manganaro, Deputy Editor, PLANADVISER.com

Panelists
Rick Shoff, Managing Director, CAPTRUST Financial Advisors
Brett Shofner, President, Work Plan Retire

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5:00 - 5:30

Session

Plan Sponsor Confidential
PLANSPONSOR Plan Sponsor of the Year and Best in Class 401(k) plan sponsors discuss
their relationships with their advisers and their advisers’ role in plan design, participant engagement and investment selection.

Moderator
Rebecca Moore, Managing Editor, PLANSPONSOR.com

Panelists
Larry Schmidt, Director, Human Resources, Searles Valley Minerals
Tobias Junker, ‎VP, Human Resources Total Rewards & Labor Relations, LSG Group

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5:30 - 7:00

Cocktail Reception Sponsored by MassMutual (Exhibit Hall – Palazzo Salons A-E)
7:00 - 8:30

Dinner and Featured Speaker: Joe Montana (Mediterranean Salons 1-4)
Dinner Sponsored by J.P. Morgan Asset Management
Widely considered the best NFL quarterback of all time, Joe Montana personifies performance excellence and personal integrity both on and off the field. Yet, the word most closely associated with him is not winner—it’s leader.
Twice named the NFL’s Most Valuable Player, Montana led the 49ers to four Super Bowl wins, earning three Super Bowl Most Valuable Player awards. He was selected to eight Pro Bowls and named All-Pro five times. He is one of the toughest quarterbacks ever to play the game, and his trademark was unflappable poise in the clutch. “Joe Cool,” as he was sometimes tagged, played with the same calm determination, whether it was a scrimmage or the Super Bowl’s fourth quarter.
Find out how he leveraged his agility, vision, extreme accuracy as a passer and capacity to retain and act upon staggering loads of information to deliver legendary results.

Plus: Meet Joe in person at our Monday Night Football After-Party immediately following dinner!
8:30 - 10:00

After Dinner Cocktail Sponsored by Ascensus (Citrus Garden)
Monday Night Football Party

Meet Joe Montana!
Immediately following our annual opening night gala dinner featuring guest speaker Joe Montana, you’ll have a chance to meet “Joe Cool” in person as he makes a special appearance at our opening night after party. Timing couldn’t be better as the theme of the evening is football – with two Monday night games on the schedule. Enjoy the game on our huge screen, snack on tasty desserts and cocktails, meet a legendary football great and Hall of Famer and, most importantly, enjoy the company of your adviser peers at this exceptional networking event.

DAY 2

7:30 - 8:45

Breakfast Sponsored by MFS Investment Management (Exhibit Hall)
8:45 - 9:00

Opening Remarks: Alison Cooke Mintzer, Global Editor-in-Chief, PLANADVISER (Mediterranean Salon 4)

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9:00 - 9:45

Guide to the Markets
This session will shed light on the state of the global economy and implications for investors. Dr. Kelly will discuss a number of key topics, including the job market and economic growth, consumer confidence and the implications of monetary and fiscal stimulus.
Presenter:
Dr. David Kelly, Managing Director, Chief Global Market Strategist, Head of the Global Market Insights Strategy Team, J.P. Morgan Funds Management

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9:50 - 10:35

The Workplace Savings System: How We Can Keep America’s Promise
Join Alison Cooke Mintzer, Global Editor-in-Chief of PLANADVISER and industry vet Robert L. Reynolds, President and CEO of Putnam Investments and Great-West Financial, which includes Empower Retirement, the nation’s second-largest retirement services provider, for a discussion on policy improvements needed today to bolster America’s retirement security for tomorrow.

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10:35 - 11:05

Coffee Break Sponsored by Financial Engines, Lincoln Financial Group, Principal
11:05 - 11:35

Session 1
Practical Fiduciary Practices
Industry professionals will discuss their best techniques for training the retirement plan committee in their fiduciary duties, reviewing investments every quarter and putting funds on a watch list when necessary, maintaining an investment policy statement, keeping minutes of the committee meetings, overseeing the annual plan audit, and making sure participants are provided sufficient information on the plan. Audience members will be encouraged to share their own challenges and successes.

Moderator
Jania Stout, Practice Leader, Co-Founder, Fiduciary Plan Advisors

Panelists
Jason Trine, Managing Director – Investment Platform Distribution, Principal
Phyllis Klein, Senior Director Consulting Research Group, CAPTRUST Financial Advisors

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Session 2
Helping Your Clients with Governance
One of the most common reasons plan sponsors turn to advisers is to get assistance with governance, including items such as putting in processes that help avoid litigation and running an efficient investment committee meeting. What are the latest and greatest strategies for improving plan sponsor governance?

Moderator
Karen Roberts, Vice President Plan Operations & Compliance, CBIZ Retirement Plan Services

Panelists
Joe Connell, Partner, Sikich Retirement Plan Services
Phil Senderowitz, Managing Director, Strategic Retirement Partners

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Session 3
The New Conflict of Interest
Under the evolving fiduciary landscape, how can an adviser protect his business while offering advice to clients? What is the easiest fiduciary hurdle to get tripped up by? Where do wealth management and rollovers fall into this? What are the practical and legal challenges of adding wealth management and rollover solutions to your retirement practice? Are the right fiduciary protections and prospecting strategies available to make these business segments work in sync?

Moderator
Donald Stone, Executive Director, Pavilion Financial Corporation

Panelists
Alice Palmer, Managing Counsel, Nationwide
Phil Troyer, Vice President of Compliance, Bukaty Companies

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11:40 - 12:30

Session 1
Differentiating Recordkeepers
The recordkeeper landscape has evolved dramatically since the advent of the 401(k) industry decades ago—and many recordkeepers now offer the same suite of services. Expert panelists will discuss the true differentiators today, such as retirement readiness tools, retirement income calculators, participant education and data related to the demographics of a plan. Panelists will also discuss the added-value that recordkeepers can offer to advisers.

Moderator
John Manganaro, Deputy Editor, PLANADVISER.com

Panelists
Brian Hanna, Senior Retirement Plan Consultant, Everhart Advisors
Glen Colwell, President, Pension Advisors

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Session 2
Improving Plan Design for Retiring Participants
Including lifetime income options in the fund lineup, evaluating “through” retirement target-date funds, permitting flexible drawdown strategies, easing rollovers and controlling the tax burden.

Moderator
Janet L. Ganong, Partner-Retirement Plan Consultant, The Kieckhefer Group

Panelists
Jeffrey N. Bograd, Director, Managing ERISA Consultant, John Hancock Retirement Plan Services
Tom Waters, Senior Institutional DC Strategist, Franklin Templeton Investments
Clint Barker, Prudential

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Session 3
The Role of HSAs
Explaining their “triple tax” advantages to participants and how they are particularly useful in today’s evolving health care environment. Do HSAs present a natural opportunity for DC advisers to help promote more holistic retirement planning that considers the challenging task of paying for medical care post-employment? How much of an opportunity does the HSA market present from a growth standpoint?

Moderator
Jamie Greenleaf, Principal, Lead Consultant, Cafaro Greenleaf

Panelists
Kenneth Forsythe, AVP, Product Strategy, Empower Retirement
Steve Christenson, Executive Vice President, Retirement and Health Savings Plan Services, Ascensus

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12:30 - 1:30

Lunch (Exhibit Hall – Palazzo Salons A-E)
1:30 - 2:15

Workshop 1 Sponsored by American Funds (Mediterranean Salon 1)

Health Meets Wealth – What Role Do Health Savings Accounts (HSAs) Play in Retirement Investing
In the constantly evolving benefits landscape, plan sponsors and participants rely on the vision and guidance of trusted partners to make the best choices. As healthcare costs rise, many employers are shifting greater responsibility to employees to save for expenses using tax-advantaged health savings accounts (HSAs). Retirement plan advisors and consultants who want to provide superior service will need to understand the latest benefit trends, including HSAs, and how they intersect with retirement plans.
Presenter: Ryan Tiernan, Vice President, National Accounts, American Funds from Capital Group

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Workshop 2 Sponsored by Voya Financial (Mediterranean Salon 2)

Differentiate Yourself With Customers And Prospects: Financial Planning For the Special Needs Community
In this session, you will learn:
– Important facts and misconceptions about the special needs community, which includes one in five Americans
– Ways to differentiate yourself by helping guide sponsors on special needs financial planning considerations
– Key insights into the unique planning considerations for people with special needs, including beneficiary planning, government benefits and income replacement ratios in retirement
– Role of the employer in driving holistic financial planning and financial wellness education
Moderator: William Harmon, President of Retirement Corporate 401(k) Market, Voya Financial
Panelists: Charlie Nelson, Chief Executive Officer, Retirement, Voya Financial and Jerry Hulicks, Caring Consulting Group

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2:20 - 3:20

Session 1

Measuring TDF Performance
How do we know whether target date funds are working? Panelists will describe effective ways to define and measure investment success, risk, and the influence of manager fees on outcomes, particularly as it pertains to TDFs and other investment products used as qualified default investment alternatives. The challenging task of helping participants and sponsors face down volatility and uncertainty will also be discussed.

Moderator
Brooks Herman, Vice President, Data and Research, Strategic Insight

Panelists
Todd Lacey, Chief Business Development Officer, Stadion Money Management
Joseph Szalay, Vice President, DC Investment Strategy, BlackRock
Todd Leszczynski, Managing Director, MFS
Derek L. Young, Head of Investment Client Strategy, Vice Chairman, Fidelity Institutional Asset Management

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Session 2
Financial Wellness
The buzzword of financial wellness is everywhere, and for many advisers and plan sponsors there have been positive results. However, there is still no one clear consensus of what financial wellness is or who delivers it. Come discuss the next stage of education.

Moderator
Brea Dantin, Principal, Retirement Plan Advisor, ProCourse Fiduciary Advisors, LLC

Panelists
Michael Domingos, Vice President, National Corporate Strategy & Distribution, Prudential Retirement
Jon Shuman, National Sales Manager, Workplace Solutions, MassMutual
Nathan Voris, Managing Director, Strategy, Charles Schwab & Co., Inc.
Aaron Tabela, Head of Institutional Marketing, Financial Engines

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Session 3
Understanding Advisor Tools and Support
There are many options for retirement plan advisers looking for service and tool providers. What’s right for you and who is out there? Panelists will debate the relative merits of sourcing tools and solutions from outside the advisory firm, as well as how to get the best deal and performance out of third-party product providers.

Moderator
James F. Sampson, Director, Retirement Advisory Services, Hilb Group Retirement Services

Panelists
Thomas O’Connell, DCIO Specialist, Wells Fargo Asset Management
Jay T. Slusher, Vice President, Retirement Advisor Consultant, PIMCO
Stace Hilbrant, Managing Director, 401k Advisors / Chicago
Edward F. Chairvolotti, President and CEO, Chairvolotti Financial

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3:25 - 3:55

Session 1
Lessons in Litigation
With more than one participant lawsuit being filed per week, the plaintiffs bar is trying all sorts of approaches. Which cases are the most likely to affect retirement plan sponsors and their service providers, and what should advisers know to help protect clients? Skilled ERISA attorneys will examine recent litigation and regulation in detail, with an eye for helping advisers reach an actionable understanding of why retirement plan lawsuits seem so prevalent these days.

Moderator
John Manganaro, Deputy Editor, PLANADVISER

Panelists
Thomas E. Clark Jr., Partner, The Wagner Law Group
David Kaleda, Principal, Groom Law Group, Chartered

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Session 2
3(38): Key things to know to protect yourself and take care of clients
When is the right time to move to the 3(38) service structure and start selecting and maintaining fund choices for discretionary clients, and what is the role of the adviser compared with 3(21) service? How can advisers move beyond just examining the basic plan participant demographics-age, risk tolerance, income-so they can be sure they are making the right choices? Panelists will give their take on the best strategies for protecting clients and advisory practices.

Moderator
Kim Shaw Elliott, President, IFP Plan Advisors

Panelists
Joan M. Neri, Counsel, Drinker Biddle & Reath LLP
Bob Darrow, National 401(k) Wholesaler Manager, PAYCHEX Retirement Services

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Session 3
Benchmarking Your Advisory Services for Clients
What key metrics should you be benchmarking? Which benchmarks are the most important to sponsors? What kind of improvements should you be making each year?

Moderator
David Hinderstein, President, Strategic Retirement Group, Inc.

Panelists
Timothy Irvin, Consultant, Corporate Markets Practice Leader, Cammack Retirement Group
Jaime A. Benedetti, Certified Financial Planner Practitioner, Benedetti, Gucer & Associates

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3:55 - 4:20

Coffee Break Sponsored by Financial Engines, Lincoln Financial Group, Principal
4:25 - 4:55

Session 1
The Generational Divide
Advisers know retirement plan participants span all age groups and generations. However, what they may not know is what those age groups need from their retirement plan. This session will discuss the unique characteristics of each demographic group and how retirement plan advisers can help plan sponsors create communications that best meets the needs of each cohort.

Moderator
L. Rita Fiumara, Senior Vice President – Investments, Senior Retirement Plan Consultant, UBS Institutional Retirement Group

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Session 2
Team Structures:
When an advisory practice grows into a team, how do you divide up the roles? Do you make certain advisers the lead adviser/customer relationship manager, and support them with other staff members who handle: fiduciary responsibilities, investment choices and employee education? If it is a multi-office team practice, do you centralize certain functions in the headquarter office to ensure consistent customer service–or do you permit branch offices some autonomy?

Moderator
Michael Clark, Consultant, Keiron Partners

Panelists
Joseph P. Lee, Senior Vice President, Head of Retirement Platforms and Strategy, First Eagle Investment Management, LLC
Rich Eagar, Retirement Consultant, Ascende

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Session 3
Nonqualified Deferred Compensation and Other Savings Opportunities:
Many plan sponsors focus on ensuring their middle and lower income employees can save but forget the importance of giving their highly compensated employees an adequate savings opportunity as well. Discuss NQDC plans and plan design options such as Roth 401(k)s, in-plan Roth conversions and after-tax contributions.

Moderator
Jason A. Johnson, Senior Vice President-Wealth Management, UBS Financial Services, Inc.

Panelists
Jeff Roberts, Regional Channel Manager, ADP
Corby Dall, President & Managing Partner, 401k Advisors Intermountain

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5:00 - 5:45

Session
Washington Update
Leading experts explain retirement-related developments in Washington, D.C., and state capitals across the U.S. We’ll dive deep into the latest legislation and regulations impacting retirement plan sponsors and participants.

Moderator
Alison Cooke Mintzer, Global Editor-in-Chief, PLANADVISER

Panelists
Thomas E. Clark Jr., Partner, The Wagner Law Group
David N. Levine, Principal, Groom Law Group, Chartered

National Conference! Join us for a riveting presentation comprised of storytelling, reactions and analysis from a veteran Washington D.C. insider!

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5:45 - 7:45

Cocktail Party – Battle of the Chefs
Sponsored by Franklin Templeton Investments (Exhibit Hall)
9:30 - 11:30

Late Night LoungeSponsored by Prudential (Whisper Creek Farm: The Kitchen)

DAY 3

7:30 - 8:30

Breakfast (Exhibit Hall)
8:30 - 8:35

Opening Remarks
Alison Cooke Mintzer, Global Editor-in-Chief, PLANADVISER

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8:35 - 9:25

Session
Fiduciary Differentiation
The word fiduciary has dominated headlines and discussions, for good reason. The changes in the law have been significant. But for the best retirement plan advisers, being a fiduciary is generally seen as table stakes. With that in mind, how can advisers think beyond basic fiduciary services? Is there a way to use fiduciary as a differentiator?

Moderator
Alison Cooke Mintzer, Global Editor-in-Chief, PLANADVISER

Panelists
Heidi LeMieur, Director of Client Relations, Retirement Learning Center
Steve Niehoff, Chief Operating Officer, Pension Resource Institute LLC

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9:30 - 10:15

Behavioral Finance and the future of improving retirement outcomes in the digital world
In this session, you will learn:
– Why behavioral finance matters
– The latest research on effective financial education and digital nudges
– How behavioral finance can improve your practice
Presenter: Professor Shlomo Benartzi, UCLA Anderson School of Management, and Senior Academic Advisor at the Voya Behavioral Finance Institute for Innovation
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10:15 - 10:45

Coffee Break Sponsored by Financial Engines, Lincoln Financial Group, Principal
10:45 - 12:00

Marketing and Branding: Unique Ideas to Grow Your Business
Marketing and branding is how advisers make their names and get new clients. This session will include presentations from advisers about unique ways they have built their brand or business and the audience will be polled as to the idea they like the most, or most want to implement themselves.
Moderators:
Alison Cooke Mintzer, Global Editor-in-Chief, PLANADVISER
John Manganaro, Deputy Editor, PLANADVISER
Panelists:
Jason Chepenik, Managing Partner, Chepenik Financial
Kenneth G. Catanella, Managing Director – Wealth Management, The Catanella Institutional Consulting Group, UBS
James Marshall, President, Spectrum Investment Advisors

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12:00

Lunch

Events Spotlight

PLANADVISER 360

November 2– 5, 2025
The Westin Kierland, Scottsdale, AZ
The retirement plan advisory industry continues to evolve, both in business structure and in the services provided to sponsors and participants. Advisers need insights and resources to aid them in keeping themselves and their practices relevant. PLANADVISER 360 is a comprehensive, interactive event that provides just those opportunities, all while bringing advisers to a beautiful resort to golf, enjoy the outdoors, swim and spend time with peers.

Industry Intelligence

THOUGHT LEADERSHIP

Retirement plan advisers can help plan sponsors with risk management and plan funding to address changing needs of the workforce, according to an expert from Massachusetts Mutual Life Insurance Company.

Sponsored by MassMutual

THOUGHT LEADERSHIP

How Advisers Can Help Plan Sponsors Navigate Demographic Shifts

Sponsored by MassMutual